RR
Rene Q. Rocamora
PLANMEMBER SECURITIES
Campbell, CA 95008
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CRD#: 4430295
RR
Professional summary
Rene Quijano Rocamora, who also goes by Rocky Quijano Rocamora, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Campbell, California.
Rene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Rene has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rocky Quijano Rocamora
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. EMPLOYEE BENEFITS SERVICES GROUP-901 Campisi Way, Suite 240, Campbell, CA 95008; INSURANCE SALES (LIFE, HEALTH, DISABILITY, ANNUITIES & LTC); CEO/PRESIDENT; START DATE 3/98; 48 HRS/MNTH; 24 HRS/MNTH DURING TRADING; IR. 2.EMPLOYEE BENEFITS SERVICES & ADVISORS, INC-901 Campisi Way, Suite 240, Campbell, CA 95008; 3RD PARTY ADMINISTRATOR/RECORDKEEPING; PRESIDENT/CEO; START DATE 8/08; 24 HRS/MNTH; 12 HRS/MNTH DURING TRADING; IR. 3.PHILIP & PINES-901 Campisi Way, Suite 240, Campbell, CA 95008; TAX & ACCOUNTING SERVICES; PRINCIPAL/TAX4) 4.U.S. RETIREMENT PARTNERS INC.(USRP)99 WOOD AVENUE SOUTH SUITE 501 ISELIN, NJ 08830;START DATE: 8/18/2010;OFFICER/CORPORATION;APPROX. NUM OF HRS/MTH DEVOTED TO THIS BUS: 06 APPROX. NUM OF HRS/MTH DEVOTED TO THIS BUS DURING TRADING HOURS:1 IR; 5)ALTA MONTCLAIR CORPORATION;15400 WINCHESTER BLVD. #5 LOS GATOS, CA 95030;START DATE: 1/1/2015;SOFTWARE COMPANY NOT INVESTMENT RELATED; OFFICER ; EXECUTIVE CHAIRMAN; CLOUD SOFTWARE SOLUTIONS FOR FINANCIAL AGENCIES; 4 HRS/MTH DEVOTED TO THIS BUS.:0 HRS/MTH DEVOTED TO THIS BUS DURING TRADING HRS:
CRS (Client Relationship Summary) - RIA
Click below to view Rene Quijano Rocamora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rene Quijano Rocamora's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 25, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 901 Campisi Way, Suite 240, Campbell, CA 95008RIA
BD
CRD#: 11869
Campbell, CA
Current
August 19, 2011 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 901 Campisi Way, Suite 240, Campbell, CA 95008RIA
BD
CRD#: 11869
Campbell, CA
Past
August 13, 2008 - August 23, 2011
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CAMPBELL, CA
Past
September 3, 2002 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SAN JOSE, CA
Past
May 14, 2002 - August 26, 2002
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
CRD#: 11869 / SEC#: 801-39177, 8-25065
RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/18/2014)
RR
California(8/19/2011)
IAR
California(8/25/2011)
RR
District of Columbia(1/7/2013)
RR
Hawaii(1/7/2013)
RR
Iowa(1/7/2013)
RR
Kentucky(1/7/2013)
RR
Nebraska(1/7/2013)
RR
Nevada(1/7/2013)
RR
Utah(1/6/2012)
RR
Virginia(1/6/2014)
RR
Washington(1/7/2013)
RR
Wisconsin(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
CRD#: 11869 / SEC#: 801-39177, 8-25065
RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6187 Carpinteria Avenue, Carpinteria, CA 93013
Mailing Address
6187 Carpinteria Avenue, Carpinteria, CA 93013-2060
Phone number
(805) 684-1199
Established
California since 03/12/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
432
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
